MICHAEL THOMAS EUSTACE is currently employed as a Broker and/or Investment Adviser at UBS FINANCIAL SERVICES INC. located at 1285 AVENUE OF THE AMERICAS, 19TH FLOOR, NEW YORK, NY, 10019.
MICHAEL THOMAS EUSTACE has worked at UBS FINANCIAL SERVICES INC. since December 11, 2015
Disclosure History
MICHAEL THOMAS EUSTACE has 2 Disclosure Event(s).
Date: October 05, 2009 Category: Customer Dispute Allegations: SUITABILITY, MISREPRESENTATION, OMISSION, BREACH OF CONTRACT, NEGLIGENCE AND FRAUD CLAIMS IN CONNECTION WITH LEHMAN PRINCIPAL PROTECTED NOTE SALES. Damage Amount Requested: $8,230,000.00 Settlement Amount: $6,100,000.00 Broker Comment: FA DID NOT CONTRIBUTE TO SETTLEMENT. UBSFS THIRD-PARTY CLAIM AGAINST FA REMAINS PENDING
Date: September 17, 2009 Category: Customer Dispute Allegations: SUITABILITY, MISREPRESENTATION, OMISSION, BREACH OF CONTRACT, NEGLIGENCE AND FRAUD CLAIMS IN CONNECTION WITH LEHMAN PRINCIPAL PROTECTED NOTE SALES. Damage Amount Requested: $1,800,000.00 Settlement Amount: $1,250,000.00 Broker Comment: NAMED BY FORMER FIRM AS RESPONDENT IN THIRD PARTY INDEMNIFICATION CLAIM. NO DIRECT CLAIM OF UNSUITABILITY BY CUSTOMER/INVESTOR.SETTLEMENT AS BETWEEN UBSFS AND CLAIMANT. FA DID NOT CONTRIBUTE TO THE SETTLEMENT. UBS THIRD-PARTY CLAIM FOR INDEMNIFICATION AGAINST MR. EUSTACE IS STAYED.
More Information
All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.
A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.
BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.
To view the full report for MICHAEL THOMAS EUSTACE, click here.
The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.
×
Outdated Information
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.
×
BrokerSearch Removal
Brokersearch.info will not fully remove items from this Website without an applicable court order designating them for removal. Investors rely on the information available on this Website to decide whether to choose or retain a broker or investment adviser.
Upon written request, we may remove certain page(s) from appearing in search engine results using the robots.txt protocol.
When a person searches for your name using Google, Bing, Yahoo! and other search engines the page(s) from Brokersearch.info would not appear in the search results.
Please contact us to learn more about Search Engine Removal.